IDEX Consulting Ltd
Paraplanner
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ASSISTANT PARAPLANNER
Role overview
To support Financial Planners, and ultimately clients, in the advice giving process with data collection, product research and production of application forms and supporting literature.
Key responsibilities
- Obtain information on existing policies; this will include issuing a letter of authority, chasing up providers regularly and obtaining the information either online, over the telephone or in writing.
- Produce new business illustrations, using either our own or 3rd party software.
- Prepare information/comparisons for analysis by the Paraplanner and Planner. This will cover the use of Pulse, IMAGO, Iress and other financial planning software.
- Request and obtain application forms and other associated paperwork.
- Ensure appropriate data is accurately recorded on Company back-office system(s) and updated in line with Company procedures.
- Ensure adherence to Department’s and Company procedures and Department’s Key Performance Indicators (KPIs)/objectives.
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Regulatory responsibilities | Compliance/T&C
- Ability to demonstrate an understanding of the regulatory framework relevant to the role, whilst practising effective risk management taking account of outcomes for clients.
- Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business. Follow principles and rules of the Financial Conduct Authority (FCA) and the internal requirements set out in the Compliance Manual, local and Group Compliance and Risk policies.
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Qualifications, Skills and Strengths
- Progression with Regulated Diploma in Financial Planning (CII) (completed at least one module).
- Understanding of the Financial Planning process, where appropriate.
- Ability to work within defined business processes and to achieve agreed outcomes without supervision.
- Ability to multi-task and to prioritise and plan own workload.
- An assertive “can do” approach to dealing with product providers and fund management groups.
- It’s desirable to have strong IT skills in Word and Excel as well as in a range of in-house and 3rd party software tools, such as X-Plan and Iress.
- Effective verbal and written communication skills.
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